This presentation provides an overview of the Trade Adjustment Assistance for Workers program of the U.S. Department of Labor. This material covers the 2002, 2009 and 2011 versions of the program including: TAA, TRA, A/RTAA, HCTC, program reporting and financial management.

1. Employment and Training Administration
Region 1 (#ETARegion1)
November 2013
v.1.75

2. United States Department of Labor
Mission Statement
To foster, promote, and develop the
welfare of the wage earners, job seekers,
and retirees of the United States; improve
working conditions; advance opportunities
for profitable employment; and assure
work-related benefits and rights.
www.dol.gov/100
2

3. Materials Overview
 Alphabet Soup
 A Brief History of Trade Act Legislation
 Trade Adjustment Assistance Programs
 Trade Adjustment Assistance for
Workers
3

4. There‟s an acronym for that.
Alphabet Soup
4

5. Alphabet Soup
Speaking the Language of Trade
ATAA = Alternative Trade Adjustment
Assistance
Adjustment Assistance
CSA = Cooperating State Agency
TAA = Trade Adjustment Assistance
for Workers
DEV = Data Element Validation
TAPR = Trade Act Participant Report
DOL = U.S. Department of Labor
TEGL = Training and Employment
Guidance Letter
DW = WIA Dislocated Worker program
ES = Employment Service
TEN = Training and Employment
Notice
ETA = Employment & Training
Administration
TRA = Trade Readjustment
Assistance
GSA = Governor Secretary Agreement
UI = Unemployment Insurance
HCTC = Health Coverage Tax Credit
UIPL = Unemployment Insurance
Program Letter
NAICS = North American Industrial
Classification System
NEG = National Emergency Grant
OTAA = Office of Trade Adjustment
Assistance
ITC = International Trade
Commission
WIA = Workforce Investment Act
RR = Rapid Response
RTAA = Reemployment Trade
5

6. It‟s always best to begin at the beginning.
A Brief History of Trade
6

7. Trade Act Origins & Major Legislation
 1962 – Trade Expansion Act of 1962
– Provided TRA payments in addition to UI
 1974 – Trade Act of 1974
– Established a training benefit
 1988 – Omnibus Trade and Competitiveness Act
of 1988
– Established TAA training as a requirement for
receipt of TRA
 1993 – North American Free Trade Agreement
(NAFTA)
– Established the precedent for enrollment deadlines
7

8. Trade Act Origins & Major Legislation
 2002 – Trade Reform Act of 2002
–
–
–
–
–
–
Established HCTC
Established ATAA as a demonstration project
Expanded applicability of enrollment deadlines
Expanded eligibility to secondarily impacted worker groups
Provided additional weeks of TRA for Remedial training
Up to 130 weeks of approved training
 2009 – Trade and Globalization Adjustment
Assistance Act of 2009
– Expanded eligibility to service sector workers and public sector
workers
– Extended weeks of Additional TRA
– Established RTAA as a permanent program and expanded
benefits
– Provided additional weeks of TRA for prerequisite courses
– Up to 156 weeks of approved training
8

9. Trade Act Origins & Major Legislation
 2011 – Trade Adjustment Assistance Extension
Act of 2011
–
–
–
–
–
–
Ended eligibility for public-sector worker groups
Removed Remedial and Prerequisite TRA
Established Completion TRA
Maximum length of approvable training set at 130 weeks
Reduced benefit levels under RTAA
Established the same HCTC rate for all eligible Trade
participants
– Set January 1, 2014 as the expiration date of HCTC
– Reduced types of training waivers for TRA eligibility
9

10. And you get a Trade program! And you get a Trade program!
Trade Adjustment Assistance
Programs
10

11. Trade Adjustment Assistance…
 for Firms (http://www.taacenters.org/)
– Administered by the Economic Development Administration
(EDA)
• Provided through a series of non-profit grantees
– Provides matching funds to employers to increase
efficiency, expand exporting capacity and increase overall
competitiveness
 for Farmers (and Fishermen)
http://www.taaforfarmers.org/
– Administered by the United States Department of
Agriculture (USDA)
• Provided through a series of non-profit grantees
– Technical assistance and cash benefits to producers of
certified commodities
11

12. Trade Adjustment Assistance…
 for Communities
– Administered by EDA
• One-time awards to communities impacted by Trade
• Based on certifications under TAA for Workers
– Administered by the United States Department of
Labor (http://www.doleta.gov/taaccct/)
• Capacity-building grants to the community and technical
college system (FY2011-FY2014)
• Known as TAACCCT grants (Trade Adjustment
Assistance Community College and Career Training)
12

13. Trade Adjustment Assistance…
 for Workers
– Helps workers who have lost their jobs as a result of foreign
trade. The program offers a variety of benefits and services to
eligible workers, including:





job training
job search and relocation allowances
income support (TRA)
a tax credit to help pay the costs of health
insurance (HCTC)
a wage supplement to certain reemployed tradeaffected workers 50 years of age and older
(ATAA/RTAA)
13

14. Heigh ho, heigh ho, it‟s into the weeds we go!
Trade Adjustment Assistance
for Workers
14

15. TAA for Workers Materials Overview
• Petition Process / Worker Group Eligibility
• Training
• TRA
– General Qualifications
– Basic TRA, Additional TRA, Remedial TRA
– Waivers
– Completion TRA
• Enrollment Deadlines
– Federal Good Cause & Equitable Tolling
• Case Management and Related Services
• RTAA (and ATAA)
• Job Search and Relocation
• Financial Management of the Trade Program
• Program Reporting Requirements and Data Validation
• Sunset Provisions and Program Reversion
• References, Guidance and Contacts
15

16. Because who doesn‟t love government forms?
Petition Process &
Worker Group Eligibility
16

17. Filing Petitions
Online at www.doleta.gov/tradeact
Fax to: (202) 693-3585
Mail to:
U.S. Department of Labor,
Office of Trade Adjustment Assistance
200 Constitution Avenue, NW, Room N-5428
Washington, DC 20210
17

18. Who Can File a Petition?





Group of 3 or more workers
Company Official
Union
State Workforce Official
American Job Center Network Partner
– Rapid Response, Employment Service,
Unemployment Insurance, WIA provider,
etc.
18

19. Petition Processing
 Upon receipt of petition, investigators contact
the company
 Gather information on locations, temp workers,
remote workers, divisions within company
 Company provides information on a confidential
basis to the Department
 Investigator recommends decision to a
Certifying Officer who issues the decision
 States ensure the provision of Rapid Response
services, if not already provided
 Process takes approximately 40 days
19

20. Appealing Petition Denials
1. request administrative reconsideration
of the determination;
2. seek judicial review of the
determination; and/or,
3. seek reemployment services from other
programs through the American Job
Center Network (ie: WIA, NEG, ES)
20

21. Worker Group Eligibility (2002)
 Primary - Workers in firms that produce articles, based on:
1. increased imports of like or directly competitive articles; or,
2. shifts in production of articles to certain foreign countries; or,
• Country is party to a free trade agreement with the US
• Countries include in: Andean Trade Preference Act, African
Growth and Opportunity Act, Caribbean Basin Economic
Recovery Act
– Does not include China, India, or most of Asia or Europe
21

22. Worker Group Eligibility (2002)
 Upstream (Secondary)
1. Firm that produces and supplies component parts
directly to another firm
2. Component parts must be directly incorporated into
articles that were the basis of certification for primary
workers
– Primary workers must be certified
– Separations (or threat) at secondary firm
– In addition, one of the following must be true:
• Component parts accounted for at least 20% of upstream
producer‟s production or sales
• Loss of business contributed importantly to workers‟ actual or
threatened separation
22

23. Worker Group Eligibility (2002)
 Downstream (Secondary)
1.Firm that performs additional, value-added
production processes directly for a firm for
articles that were basis of certification
2.Downstream production can include final
assembly or finishing
– Must meet the following criteria:
• Separations (or threat) at secondary firm
• Loss of business with primary firm must have contributed
importantly to separations at secondary firm
• Applies only to primary certifications based on increased
imports from or shift in production to Canada or Mexico
23

24. Worker Group Eligibility (2009/2011)
 Affected Workers may include workers in firms that produce articles
and workers in service sector firms, based on:
1. increased imports of like or directly competitive articles or services; or,
2. increased imports of a finished article for which the workers‟ firm produces
component parts or supplies services; or,
3. increased imports of articles directly incorporating foreign components that
are like or directly competitive with the component parts made by U.S.
workers; or,
4. shifts in production of articles or supply of services to any foreign country;
or,
5. workers in firms that supply component parts or services to firms with
TAA-certified workers or perform additional, value-added production
processes to firms with TAA-certified workers; or,
6. workers in firms identified in International Trade Commission “injury”
determinations
NOTE: Certifications under 2011 are limited to the private sector
24

25. Worker Group Eligibility Matrix
Program Version
Manufacturing
Services
Public Sector
Shift in Production /
Secondary Certs
2002
YES
NO
NO
Limited Countries
2009
YES
YES
YES
Any Country
2011
YES
YES
NO
Any Country
Reverted 2002
YES
NO
NO
Limited Countries
25

26. “I was training to be an electrician. I suppose I got
wired the wrong way round somewhere along the
line.” - Elvis Presley
Training
26

27. Mission of Training
Trade‟s Axiom:
The least amount of training at the lowest
reasonable cost in the shortest amount
of time to obtain the skills, credentials,
resources, and support necessary to
become reemployed.
27

28. 6 Criteria for Approval of Training
1. There is no suitable employment (which may include
technical and professional employment) available for
the adversely affected worker.
2. The worker would benefit from appropriate training.
3. There is a reasonable expectation of employment
following completion of such training.
4. Training approved by the Secretary is reasonably
available to the worker from either governmental
agencies or private sources.
5. The worker is qualified to undertake and complete such
training.
6. Such training is suitable for the worker and available at
a reasonable cost.
28

29. Suitable Employment
Suitable employment is defined as work of
a substantially equal or higher skill level
than their past adversely affected
employment and with a wage of at least
80% of the worker‟s prior average weekly
wage.
• A job, known to be short duration or
temporary in nature, is not considered
suitable
29

30. Exclusions
20 CFR 617.23(d)(3)
• Exclusions. In determining suitable
training the State agency shall exclude
certain occupations, where:
– (i) Lack of employment opportunities exist
as substantiated by job orders and other
pertinent labor market data; or
– (ii) The occupation provides no reasonable
expectation of permanent employment.
30

31. Training Prior to Separation (2009/2011)
Training may be approved before separation for
adversely affected incumbent workers. The incumbent
worker must be someone who:
1. Is a member of a group of workers that has been certified
as eligible to apply for TAA benefits
2. Has not been totally or partially separated from
employment, and
3. Is determined to be individually threatened with total or
partial separation (will be monitored via case
management).
31

32. One Training Per Certification
 A worker may only be approved for one training program
per certification.
 Therefore, a training program begun prior to separation counts
as that one training program, and the training plan should be
designed to meet the long-term needs of the worker.
 A training plan may be modified
 See TEGL 10-11, Change 2 Q8
Note: A training program may be comprised of several
training components (i.e.: remedial training first, then
vocational training, may also combine classroom and OJT)
32

33. Training - Guidance
 There is no entitlement under Trade to receive
training.
– All 6 criteria must be met before training can be approved
 There is no entitlement to receive the maximum
number of weeks of training.
 When approving training, CSAs must look at the
requirements for the occupation as found on O*NET
and actual job postings
– Additional add-ons and other certifications not listed in job
postings are not always appropriate
• Training may be approved for a period longer that an
individuals eligibility for TRA
– Worker must demonstrate a financial ability to complete the
training.
33

34. Full-Time vs Part-Time Training
 2002
– 617.22 (f)(4)
• Full-time training. Individuals in TAA approved training shall
attend training full time, and when other training is combined
with OJT attendance at both shall be not less than full-time.
The hours in a day and days in a week of attendance in
training shall be full-time in accordance with established
hours and days of training of the training provider.
 2009 / 2011
– Allows for part-time training
• TRA is not payable if the individual participants in part-time
TAA-approved training
34

35. Length of Training
 2002
– The maximum length of Trade-approved
training is 130 weeks
 2009
– The maximum length of Trade-approved
training is 156 weeks
 2011
– The maximum length of Trade-approved
training is 130 weeks
35

36. Breaks in Training
 2002 / 2009 / 2011
– Up to 30 days allowed
– Additional TRA may not be paid for breaks longer
than 30 days
 Training plans should seek to avoid breaks
 Unscheduled breaks are not the same thing
 Excludes weekends and holidays unless
training would normally have occurred on
those days
36

37. Training Matrix
Program
Maximum
Weeks of
Approved
Training
Part-Time
Training
Allowable
Breaks in
Training (Days)
Remedial
Training /
Prerequisite
Courses
Online
Training
2002
130
NO
30
YES
YES
2009
156
YES
30
YES
YES
2011
130
YES
30
YES
YES
Reverted 2002
130
NO
30
YES
YES
37

38. Training-Related Costs
 Allowable
– All tuition & fees;
– Books, uniforms, supplies, equipment
– Transportation costs (mileage, mass transit, parking)
– Laptops and software may be purchased if they are required for all
students by the institution for the approved training program
– Health insurance premium costs, if all students are required to carry
health insurance and they are not otherwise covered
– Initial professional licensing fees and licensing exam fees
 Not Allowable (under TAA funds)
– Child care, Auto repair, etc.
• Allowable under WIA, NEG and other partner programs
38

39. “…those injured by that competition should not be required to bear the full
brunt of the impact.” - JFK
Trade Readjustment Assistance
(TRA) and Training Waivers
39

40. Qualifying TRA Requirements
An individual must:
 Be an adversely affected worker;
 Have a first qualifying separation occur on or after the
impact date of the certification & before the expiration of the
2-year period beginning on the date of certification;
 Have 26 weeks of employment at wages of $30 or more a
week in adversely affected employment with a single firm or
subdivision of the firm in a 52-week period ending with the
week of the first qualifying separation; and,
 The individual must have been entitled to (or would have
been entitled had they applied) UI for a week within the
benefit period of the individual's first qualifying separation
40

41. Qualifying TRA requirements (cont.)
 Have exhausted all rights to UI to which the individual was entitled:
(1) Accept any offer of suitable work & apply for any suitable
work the individual is referred by a State, &
(2) actively engage in seeking work & provide tangible
evidence of such efforts, & (3) register for work and be
referred by the state agency to suitable work, [until they are
enrolled in training]
AND
(1) be enrolled in or participating in a TAA approved training
program approved by the state agency, or
(2) have completed a TAA approved training program
approved by State agency after a total or partial separation
from adversely affected employment (3) have received from
the state agency a written statement waiving the TAA
participation-in-training requirement [617.11(a)(2)(i)–(iv)]
41

42. Basic TRA
 Payable only upon exhaustion of UI benefits
 52 weeks minus UI
 Including all state and Federal benefits
 Participant must be in full-time training or on
a waiver from training
 Participant must meet the enrollment
deadline
 8/16 for 2002
 26/26 for 2009/2011
42

43. Additional TRA
 A worker can receive the additional weeks of TRA
only if they are participating in approved training
(including allotted breaks in training)
 In order to receive additional benefits, workers must
have met the enrollment deadline
 2002 - If an individual becomes entitled to UI after
commencing receipt of TRA, then they must exhaust
their UI; their eligibility period continues to run
 2009/2011 - If an individual becomes entitled to UI
after commencing receipt of TRA, they may elect to
remain on TRA instead of having to exhaust their UI;
43

44. Remedial TRA (2002/2009)
 Benefit available for those who need remedial education to facilitate
reemployment
 Leads to employment or training
 Remedial education can occur concurrently with other training
 Example: Basic math & writing skills, English as a second language,
GED, etc.
 Up to 26 weeks of Remedial TRA payments may be provided
 TRA payments for remedial education weeks are made at the end
of the “regular” TRA period
 Brings total available weeks of benefits to 130/156
 See TEGL 13-05 for additional guidance on remedial training
44

45. Remedial / Prerequisite TRA (2009)
 Benefit available for those who need remedial education to facilitate
reemployment or prerequisite courses needed before occupational
training can begin
 Leads to employment or training
 Remedial education can occur concurrently with other training
 Remedial Example: Basic math & writing skills, English as a second
language, GED, etc.
 Prerequisite Example: English 101 before English 201, etc.
 Up to 26 weeks of prerequisite / remedial TRA payments may be
provided
 TRA payments for remedial education weeks are made at the end
of the “regular” TRA period
 Brings total available weeks of benefits to 156
45

46. Remedial / Prerequisite TRA (2011)
 The 2011 amendments eliminated Remedial TRA as a
“category” of TRA, although remedial and prerequisite
training should continue to be part of an approved
training plan where appropriate
 However, the inclusion of remedial and prerequisite training in
a worker‟s training plan will no longer result in the worker‟s
eligibility for up to 26 additional weeks of TRA
46

47. TRA and Training Waivers
2002
 52 weeks of Basic
TRA (reduced by any
UI received)
2009
 52 weeks of Basic
TRA (reduced by any
UI received)
2011
 52 weeks of Basic
TRA (reduced by any
UI received)
 52 weeks in 52 of
Additional TRA
 78 weeks in 91 of
Additional TRA

 Remedial TRA may
account for 26 weeks
 Remedial or

Prerequisite TRA may
account for 26 weeks
Completion TRA may
account for 13
weeks
 Six Training Waivers
Three Training
Waivers
 Six Training Waivers

65 weeks in 78 of
Additional TRA
47

48. Criteria for Waiving Training Requirement
 2002 and 2009 TAA Programs
 Six Criteria
 2011 TAA Program
 Three Criteria
 Health Condition
 Health Condition
 Enrollment in Training
is Not Available
 Enrollment in Training is
Not Available
 Training Not Available
 Training Not Available
 Recall
 Marketable Skills
 Retirement
48

49. Training Waivers (2002/2009 Only)
 Recall – The worker has been notified that the worker will be recalled
by the firm from which the separation occurred.
 Marketable Skills – The worker possesses marketable skills for
suitable employment (as determined pursuant to an assessment of the
worker, which may include the profiling system under section 303(j) of
the Social Security Act (42 U.S.C. 503(j)), carried out in accordance
with guidelines issued by the Secretary) and there is a reasonable
expectation of employment at equivalent wages in the foreseeable
future.
 Retirement – The worker is within 2 years of meeting all requirements
for entitlement to either –
 (i) old-age insurance benefits under title II of the Social Security Act
(42 U.S.C. 401 et. seq.) (except for application therefor); or
 (ii) a private pension sponsored by an employer or labor
organization.
49

50. Remaining Training Waivers Under 2011 Act
(Also allowable under 2002/2009)
 Health – The worker is unable to participate in training due to the health of
the worker, except that this basis for a waiver does not exempt a worker
from the availability for work, active search for work, or refusal to accept
work requirements under Federal or State unemployment compensation
laws.
 Enrollment Unavailable – The first available enrollment date for the
worker‟s approved training is within 60 days after the date of the training
determination, or, if later, there are extenuating circumstances for the delay
in enrollment, as determined under guidance issued by the Secretary.
 Training Not Available – Training approved by the Secretary is not
reasonably available to the worker from either governmental agencies or
private sources (which may include area vocational schools as defined in
section 3 of the Carl D. Perkins Vocational and Technical Education Act of
1998 (20 USC 2302) and employers), no suitable training for the worker is
available at reasonable cost, or no training funds are available.
50

51. Earnings Disregard (2009/2011)
 For adversely affected workers in full-time, Tradeapproved training:
 No deduction is made for earnings from work for a
week up to an amount that is equal to the worker‟s
most recent UI benefit amount
 A state‟s disqualifying income provisions only apply to
the earnings in excess of the participant‟s weekly
benefit amount
51

52. TRA Election Provision (2009/2011)
• Allows adversely affected workers to elect TRA instead of UI
where:
– 1) The worker is entitled to receive UI as a result of a new benefit
year based in whole or in part upon part-time or short-term
employment in which the worker engaged after the worker‟s most
recent total separation from adversely affected employment This
provision will affect only the benefit computation for workers who are
participating in full-time training other than on-the-job training
– 2) The worker is otherwise entitled to TRA.
52

53. TRA Election Provision (2009/2011)
53

54. TRA Election Provision: Example 1
54

55. TRA Election Provision: Example 2
55

56. Introduction of Completion TRA (2011)

New category of TRA aligns with the Department‟s larger aim to increase the
successful completion of recognized credentials

Provides participants with up to 13 more weeks of TRA within a 20 week period in
order to complete training plan

Conditions of Completion TRA:
– The requested weeks are necessary for the worker to complete a training
program that leads to a degree or industry-recognized credential; as described in
TEGL No. 15-10, and;
– The worker is participating in training in each such week; and
– The worker has substantially met the performance benchmarks established in the
approved training plan (see section C.3.1); and
– The worker is expected to continue to make progress toward the completion of
the approved training; and
– The worker will be able to complete the training during the period authorized for
receipt of Completion TRA
56

57. 2011 Program Benefits: TRA Timeline
130 Payable Weeks over a 150 Week period
Basic TRA
Unemployment
Insurance
Impact
Date
Lay
Off
Additional TRA
Completion TRA
26 Weeks
52 X WBA
65 Weeks
Payable in 78 Weeks
13 Weeks
Payable in 20 Weeks
Certification
TRA
Exhausted
Until one
month after
last service
or benefit
HCTC
Eligible
2 1/2 Years
57

58. TRA Timeline: Real-World Operations
Dec. 31,
2013
HCTC Ends
58

59. Training Benchmarks (2011)
 Reviews conducted at no later than 60 day intervals from the start of the
training plan
 Documented in IEP and signed by participant
 Two Evaluation Criteria
 Satisfactory academic standing
 On track to complete training within the agreed upon timeframe
 Encourages early intervention and modification of unsuccessful training
plans
 Supports modification measures in order to increase training completion
and credentials
59

60. Training Benchmarks (2011)
 Required for Completion TRA eligibility
 Must be established at the beginning of all training programs- except
for very short training programs
 In general, any training program over three months in duration should
have benchmarks established to allow for quality case management
opportunities and intervention as needed.
 Encouraged because they strengthen case management efforts
 Requires strong information sharing between TRA and case managers
60

61. Training Benchmarks (2011)
Participant Served under 81,000 petition (meets benchmarks)
130 weeks of training
IEP Developed
with benchmark
requirements
documented
and signed
Up to 15 benchmark reviews through point of
Completion TRA eligibility
Completion
TRA begins
Participant Served under 81,000 petition (fails benchmarks)
IEP Developed
with benchmark
requirements
documented
and signed
2nd
Participant may continue in original
approved plan with no Completion TRA
Failure
Modified plan may include
Completion TRA eligibility
Participant fails
one of two
benchmarks
Revise plan
Modify IEP
61

62. Additional TRA Matrix
Program
Total
Weeks
Payable
Payable TRA
Within
Election
(Weeks)
Earnings Remedial /
Disregard Prerequisite
TRA (Weeks)
Completion
TRA
(Weeks)
2002
52
52
NO
NO
YES (26)
NO
2009
78
91
YES
YES
YES (26)
NO
2011
65
78
YES
YES
NO
YES (13)
Reverted 2002
65
78
NO
NO
NO
YES (13)
62

63. Appeals
 Trade appeals follow the UI appeals process
– TAA, TRA, RTAA
 State required to notify ETA of all appeals
– Technically, states are required to notify ETA of
every decision rendered under Trade
– 20 CFR 617.52(c)
 Unlike regular UI, ETA has the authority to
demand additional appeals to higher levels (i.e.:
courts)
– 20 CFR 617.52(c)
63

64. “A goal is a dream with a deadline.” – Napoleon Hill
Enrollment Deadlines
64

65. 8/16 Week Deadline (2002)
 Participant must be enrolled in training no more than:
–
–
–
–
–
8 weeks from the date of the petition certification; OR
16 weeks from the worker‟s most recent total separation from
adversely affected employment
45-day “extenuating circumstance” extension is possible
No good cause exceptions allowed
Equitable tolling is permissible
 TRA eligibility:
–
–
–
From TEGL 11-02, Change 3, the above does not apply to be
eligible for TRA, if the determination is made before the training
deadlines.
A worker may receive TRA prior to the 8/16 if all other eligibility
has been met in the Section 231(a) of the Act.
Once the enrollment deadline (8/16), is reached the training
requirement must be met: enrolled in training or receipt of a
waiver.
65

66. 26/26 Week Deadline (2009/2011)
 Participant must be enrolled in training no more than:
–
–
–
–
–
26 weeks from the date of the petition certification; OR
26 weeks from the worker‟s most recent total separation from adversely
affected employment
45-day “extenuating circumstance” extension is possible
Good Cause
•
2009: State good cause provisions allowable
•
2011: Federal good cause provision allowable
Equitable tolling also possible
 TRA eligibility:
–
–
–
From TEGL 11-02, Change 3, the above does not apply to be eligible
for TRA, if the determination is made before the training deadlines.
A worker may receive TRA prior to the 26/26 if all other eligibility has
been met in the Section 231(a) of the Act.
Once the enrollment deadline (26/26), is reached the training
requirement must be met: enrolled in training or receipt of a waiver.
66

67. Deadlines – Intent
TEGL 11-02
– “These deadlines may be waived for
specified reasons… However, the intent of
the time limitations is that adverselyaffected workers who are in need of training
be enrolled in training quickly in order to
expedite their adjustment and
reemployment.”
67

68. “Enrolled in Training”
 20 CFR 617.11(a)(2)(vii)(D)
– “Enrolled in training” means that the worker‟s
application for training has been approved by
the CSA and that the training institution has
furnished written notice to the CSA that the
worker has been accepted into the approved
program which is to begin within 30 days of
such approval.
 Once “enrolled in training,” a participant is
no longer subject to the EB work test
68

69. Death and taxes. The only two rules without exceptions.
Federal Good Cause &
Equitable Tolling
69

70. Highlights for Federal Good Cause
 Effective with the 2011 Program
 A waiver for good cause of the time limitations “with respect to an
application for TRA or enrollment in training” means:
 26/26 week enrollment in training deadline
 Same application as “state good cause” under 2009 Program
 TEGL 10-11 provides specific guidance
70

71. Federal Good Cause and Equitable Tolling
are Separate and Distinct Provisions
Federal Good Cause
Equitable Tolling
Statutory
Yes
No
Program
Applicable ONLY under
the 2011 Program
Available in 2002, 2009
and 2011 Programs
Deadlines
Can be applied ONLY to
application for TRA and
enrollment in training
Applies to any TAA
deadline
How
applied:
After considering
conditions found in TEGL
10-11
Available only in egregious
circumstances where an
individual acted with due
diligence (TEGL 8-11)
When
Available
Effective with 2011 Act
Effective with issuance of
TEGL: October 19, 2011
71

72. “The purpose of these employment and case management services
is to provide workers the necessary information and support for
them to achieve sustainable reemployment.” – TEGL 22-08
Case Management and Related
Services
72

73. Case Management
 2002
 Requires cooperating state agencies (CSAs) to, “make every
reasonable effort,” to provide case management services through
co-enrollment in ES, WIA, NEG or other partner programs
 Assessments and labor market analysis still required prior to approval
of training
 2009/2011
 Requires that case management services be provided to all adversely
affected workers and adversely affected incumbent workers
 These services are not optional.
 Provision of services must be documented
 Trade funds are provided to support these services
 Co-enrollment is still appropriate and highly recommended
 Trade participants are, by definition, dislocated workers under WIA
73

74. Case Management
 Required Services (2009/2011)
 Comprehensive and specialized assessment of skill levels and service
needs;
 Development of an individual employment plan to identify employment
goals
 Information on:
 training available in local and regional areas, information on
 individual counseling to determine which training is suitable training,
and
 how to apply for such training
 how to apply for financial aid
 Short-term prevocational services
 development of learning skills, communications skills, interviewing
skills, punctuality, personal maintenance skills, and professional
conduct
74

75. Case Management
 Required Services (2009/2011)
 Individual career counseling, including job search and placement
counseling, during the period in which the individual is receiving a
trade adjustment allowance or training under this chapter, and after
receiving such training for purposes of job placement.
 Provision of employment statistics information, including the
provision of accurate information relating to local, regional, and
national labor market areas
 Information relating to the availability of supportive services,
including services relating to child care, transportation, dependent
care, housing assistance, and need related payments that are
necessary to enable an individual to participate in training
 aka: Support services available through WIA and other partner
programs or local community organizations
75

76. Merit Staffing Requirement
20 CFR 618.890
– Staff funded under Trade funds must be
state merit staff (except MA, MI & CO)
– Does not apply to non-inherently
governmental functions (OMB Circular A-76)
– See TEGL 15-12 for more info
76

77. Case Management & Related Costs
Page A-50, TEGL 22-08
 “In addition to staff costs for career counselors, the
„employment and case management services‟ funds
may be used for: assessment tests; skills
transferability analysis; peer counselors;
development and provision of labor market
information; maintenance and enhancement of
electronic case management systems to allow for
improved case management services; information
on available training, including provider performance
and cost information; and, any other staff costs
related to case management. This list is not
intended to be all inclusive.”
77

78. Trade Funds Can Pay For…
 Operating costs of American Job Centers
 MIS development, appropriate upgrades
and maintenance
 Supplies and equipment
 Assessments, labor market information,
career counseling
 2002 program does not provide funds for
case management and related costs
 … and other costs not listed here …
78

79. “It's just a job. Grass grows, birds fly, waves pound the sand. I beat
people up.” - Muhammad Ali
Reemployment Trade Adjustment
Assistance (RTAA)
79

80. What is the RTAA program?
• Wage supplement program for workers age 50
and over
• May be employed full or part-time
– Full-time employment as defined by applicable
state law
– Part-time only allowable under 2009/2011
• If in part-time, must also be in training
• May be combined with training (2009/2011)
• Can receive RTAA after TRA
– Weeks of TRA are deduced from RTAA benefit
• Cannot receive TRA after RTAA
80

81. RTAA Basics
 50% of difference between reemployment wages and
wages earned at separation
 Payments may not last more than 2 years
 Total payments may not exceed $10,000

($12,000 under 2009 rules)
 Health Coverage Tax Credit (HCTC)
 Only while receiving RTAA payment
 Group eligibility is automatic with certification of a
Trade petition
81

82. ATAA Basics
• Separate request for group eligibility
under ATAA must be filed with each
Petition
• Only full-time employment is allowable
• May not be combined with training
• Must be reemployed within 26 weeks of
separation
82

83. RTAA / ATAA Matrix
Program
Full Time
Employment
Part Time
Employment
Training +
RTAA
Maximum
Amount
2002 – ATAA
YES
NO
NO
$10,000
2009 – RTAA
YES
YES
YES
$12,000
2011 – RTAA
YES
YES
YES
$10,000
Reverted 2002
YES
NO
NO
$10,000
83

84. Where the jobs are.
Job Search and Relocation
84

85. Job Search
• To cover allowable costs related to travel
outside of a participant‟s commuting area
to seek suitable employment
– Usually related to job interviews.
– Must be within the “United States”
• Limited to the 50 states, DC & Puerto Rico
– Must be pre-approved by the state
85

86. Job Search Benefit Amount
• Under 2011, benefits are available at the 2002 benefit level and in
accordance with the regulations of 20 CFR 617.48 and 617.49
– 90% of allowable costs up to $1,250
– May included multiple trips
– Governed by Federal Travel Regulations at 41 CFR §301
• Under 2009, benefits are available as defined in TEGL 22-08
– 100% of allowable costs up to $1,500
– May included multiple trips
– Governed by Federal Travel Regulations at 41 CFR §301
86

87. Relocation
• To cover allowable costs to relocate a
participant, their immediate family and
their household goods to suitable
employment outside of their commuting
area
– Limited to the 50 states, DC & Puerto Rico
– Must be pre-approved by the state
87

88. Relocation Benefit Amount
• Under 2011, benefits are available at the 2002 benefit level and in
accordance with the regulations of 20 CFR 617.48 and 617.49
– 90% of allowable costs
– Lump sum payment up to $1,250
– Governed by Federal Travel Regulations at 41 CFR §302
• Under 2009, benefits are available as defined in TEGL 22-08
– 100% of allowable costs
– Lump sum payment up to $1,500
– Governed by Federal Travel Regulations at 41 CFR §302
88

89. Take two of these and call me in the morning.
Health Coverage Tax Credit
(HCTC)
89

90. Health Coverage Tax Credit (HCTC)
 HCTC covers 72.5% of qualifying health insurance premium costs
regardless of which version of the Trade program a participant is certified
under
 HCTC is a program operated by the Internal Revenue Service, not the US
DOL
 HCTC is available as an advanced (real-time) or end-of-year tax credit
 HCTC is set to expire on December 31, 2013
 There is a gap on enrollment in the advance program of 1 to 2 months.
 Some states have National Emergency Grants available to cover this
gap
 These NEGs also expire no later than December 31, 2013
90

91. Follow the money.
Financial Management
91

92. Trade Funding Types
• TAA = Training, job search, relocation,
case management & related costs
• TRA = Income support benefits
• A/RTAA = Wage insurance payments
92

93. Funding for FY 2012 and FY2013
RTAA
TRA
Admin
Job Search
&
Relocation
Case
Management
Training
Uncapped Funds
Consolidated Allocation
$575M CAP
Conditions:
Up to 10% of Consolidated Allocation may be used
for Administration
Not less than 5% of Consolidated Allocation must
be used for Case Management
93

94. Recapture and Financial Reporting
 DOL may recapture funds from States with remaining unobligated funding (2009/2011)
 DOL may distribute recaptured funds to States in need of
additional funding (2009/2011)
 2002 program does not have a recapture provision
 Trade-specific ETA-9130 now in use
94

95. TAA Program, Case Management and Admin
How much can I spend for what?
• Be mindful of funding source – must be
an allowable activity under that funding
stream to be charged to the grant
• Citations: Trade Act 235(A)(1)(6); TEGL
22-08 Section G(2) and G(3); TEGL 1011; 20 CFR 618
95

96. Funding Status Issues / Recommended Practices
• 3 Year Money
– Different Law = Different Restrictions
– Proper cost allocation
• Expiration and Closeout
– Shifting pots
– Proper cost allocation
96

97. Mean, and median, and mode! Oh, my!
Program Reporting Requirements
97

98. Trade Act Participant Report (TAPR)
• A “flat file” of participant and exiter
information
• Submitted quarterly by each state
• Includes performance, services, benefits
and financial information
• Similar to the WIASRD / WISPR
submissions for WIA
98

99. TAPR Performance & Service Highlights PY2012

105,115 total participants in PY2012
 38% (40,198) received training
 3.6% (3,819) A/RTAA participants

The average Trade participant is a 47 year-old, white male with no more than a
high school diploma who has been employed in trade-impacted employment for
18 years

Top 4 NAICS codes of employment after exit reported via the TAPR:
# of Exiters % of Exiters
NAICS
Description
4,876
13.8%
5613
Employment Services
1,145
3.2%
6221
General Medical and Surgical Hospitals
892
2.5%
3363
Motor Vehicle Parts Manufacturing
624
1.8%
6111
Elementary and Secondary Schools
99

100. TAPR Performance & Service Highlights PY2012

The average duration of training is 542 days

22% of training exiters received remedial training

Only 1.2% of training exiters nationally were enrolled in an OJT
 Nebraska = 11%, New Hampshire = 9%

74% of exiters enrolled in training, completed training
Entered Employment Rate
80
75
70
65
All
Co-Enroll
Training
Credential
100

101. Data Element Validation (DEV)
 DEV conducted annually
 No additional annual report is required under Trade
 DEV completed by the states using the file submitted for
June 30 of each year
 ETA Regional Offices review Trade DEV results during
our regular DEV review cycle for WIA and Wagner-Peyser
 FY2013 is the first DEV performance under Trade since
2009
 A data integrity review has been conducted in lieu of the
annual DEV requirement
 Data integrity efforts will continue on a quarterly basis
101

102. To be continued?
Sunset Provisions &
Program Reversion
102

103. Sunset Provisions & Reversion
• 2011 Amendments sunset on December 31, 2013
• The TAA Program will revert back to a modified
version of the 2002 Amendments (on next slide)
• The “reverted TAA program” is authorized from
January 1, 2014 through December 31, 2014
103

104. “Reverted” Program
• No Trade funds available for case management or related
costs
– Costs will need to be covered under ES, WIA, NEG or other
American Job Center partner programs
• The elimination of three training waivers
– Health, Enrollment Not Available and Training Not Available will
continue to be the only allowable waivers
• No Remedial/Prerequisite TRA available
• Completion TRA remains available
• 8/16 Week Deadline Re-established
• No Earnings Disregard for TRA
• No Election Provision for TRA
• Service sector workers no longer eligible for certification
• Shift in production certifications limited to certain countries
104

105. Program Element Matrix
2002
2009
2011
Reversion
Service Workers Eligible
NO
YES
YES
NO
Limited Countries for Shift in Production Cert.
YES
NO
NO
YES
Maximum Length of Training (Weeks)
130
156
130
130
Part-time Training Allowable
NO
YES
YES
NO
Earnings Disregard and TRA Election Provisions
NO
YES
YES
NO
Case Management Funding Available
NO
YES
YES
NO
6
6
3
3
Training Enrollment Deadlines (Weeks)
8/16
26/26
26/26
8/16
Remedial Training Allowable
YES
YES
YES
YES
Remedial TRA Available
YES
YES
NO
NO
Prerequisite Courses Allowable
YES
YES
YES
YES
Prerequisite TRA Available
NO
YES
NO
NO
Completion TRA Available
NO
NO
YES
YES
Number of Waiver Types Available

106. Because knowing is half the battle.
References and Contacts
106

107. Internet References
 TAA Homepage
 http://doleta.gov/tradeact/
107

108. Key References
• Trade Act of 1974, as amended
– 19 USC 12
• Public Law 93-618 (Trade Act of 1974)
• Public Law 100-148 (aka: The 1988 Amendments)
• Public Law 106-113 (FY2000 consolidated appropriation)
• Public Law 107-210 (Trade Reform Act of 2002)
• Public Law 111-5 (Trade and Globalization Adjustment Assistant Act of 2009)
• Public Law 112-40 (Trade Adjustment Assistance Extension Act of 2011)
• 20 CFR 617 (TAA/TRA Program Rules)
• 20 CFR 618 (Merit Staffing & Funding)
• 29 CFR 90 (Petition Process)
108

109. Key Guidance - TEGLs
•
TEGL 11-02 (2002 Operating Instructions)
– Changes 1, 2 & 3
•
TEGL 02-03 (ATAA, RTAA reference)
– Changes 1, 2
•
TEGL 22-08 (2009 Operating Instructions)
– Change 1
•
TEGL 10-11 (2011 Operating Instructions)
– Changes 1, 2
•
•
•
•
•
•
•
TEGL 05-00 (Program Integration)
TEGL 21-00 (Program Integration)
TEGL 15-12 (Program Integration)
TEGL 05-01 (Travel)
TEGL 09-05 (Distance Learning)
TEGL 13-05 (Remedial Training)
TEGL 08-11 (Equitable Tolling)
109

110. Key Guidance - UIPLs
• UIPL 17-87 (Strike/Lockout)
• UIPL 25-87 (Bumped Workers)
• UIPL 29-91 (Incapacitated/Deceased)
• UIPL 31-00 (TRA TAG)
110

111. Key Guidance - HCTC
• UIPL 02-03 (Initial Guidance)
• UIPL 05-03 (HCTC)
• UIPL 33-03 (HCTC Q&A)
• UIPL 05-06 (HCTC 1099-G)
• UIPL 21-09 (HCTC)
• UIPL 12-11 (Reversion)
• TEGL 10-02 (Bridge/Gap-Filler Grants)
111

112. Regional Office Contacts – Region 1
Timothy Theberge
John Murphy
Regional Trade Coordinator
TRA Coordinator
(Primary)
617-788-0139
theberge.timothy@dol.gov
617-788-0392
murphy.john@dol.gov
@timtheberge (Twitter)
www.slideshare.net/ttheberge
Kate McLaughlin
Trade Coordinator
(Backup)
617-788-0126
mclaughlin.kathleen@dol.gov
112